Paul Harvey
Risk & Compliance Professional
Sydney/Adelaide,Australia
Summary
Customer-oriented risk professional with over 20 years of experience focused on supporting businesses understand and manage risk in a commercially pragmatic manner. Adaptive and team focused, capable of advising across diverse business environments in multiple global jurisdiction. Dedicated leader and talent builder with comprehensive managerial and executive experience, offering vision and motivational acumen.
Overview
25
25
years of professional experience
Work History
General Manager, Chief Controls Officer
Commonwealth Bank of Australia
06.2019 - Current
- Lead a team of risk and compliance specialists (up to 30 FTE) to support activate CBA’s response to APRA Prudential Inquiry Remedial Action Plan, including enhancing risk culture and operational alignment with the Bank’s three lines of accountability framework
- Champion non-financial risk management as a member of the leadership teams for both Human Resources and Office of Deputy CEO ( to Dec 2023).
- Take accountability for managing and participating in regulatory investigations/responses, including CBA’s Privacy Enforceable Undertaking Project, Employee Entitlements Review, and ACMA Enforecable Undertaking
- Drive operating effectiveness through assessment and enhancement of operating controls, including process and control automation.
- Developed and executed strategic plans for customer experience, including developing and implementing Agile ways of working.
Director, Global Human Resources Compliance & Operational Risk
Bank of America Merrill Lynch
05.2016 - 06.2019
- Company Overview: Hong Kong
- Lead the provision of compliance and operational risk management services to Human Resources, who in turn support BAML’s Asia Pacific Banking business (12 countries), as well as the India based Global Delivery Centre of Excellence (BPO/ITO – circa 17,000 employees)
- Provide advice on existing and emerging legal and regulatory compliance obligations impacting BAML
- Provide leadership and governance oversight to ensure Teams operate within BAML’s Compliance and Operational Risk Management Frameworks and Systems, and that those Teams can demonstrate a positive risk management culture
- Cultivated a positive work environment that fostered employee engagement and boosted overall team morale.
Regional Head of HR – Governance, Risk Audit & Compliance
HSBC
06.2014 - 05.2016
- Role was established to provide leadership support for HR Governance, Operational Risk, Audit and Compliance across Asia Pacific
- Led a team of risk professionals to supportteams and embedded risk managers provide services in line with HSBC’s operational risk framework and regional compliance obligations.
- Provided a second line of defence supporting HSBC’s businesses and functions manage People Risk, with a particular focus on conduct risk
- Led and delivered regional risk support for projects and change initiatives
- Mentored junior team members for career growth, contributing to a skilled and motivated workforce.
Senior Manager, Portfolio Risk, Operations & Property Division
Westpac Banking Corporation
05.2013 - 05.2014
- Role was created to provide dedicated support to establish and execute Risk Strategy across Westpac’s Operations & Property Division
- Provided strategic and tactical support to embedded Risk & Control Advisory teams within International Operations, Mortgage Services, Collections, Business and Consumer Services and Lending, and Property Business Units,
- Supported portfolio wide programs and projects impacting the way Westpac does business, including leading the implementation of Westpac's Risk Appetite program.
- Set and achieved high performance targets within risk advice and assurance teams, including emplover engagement and well-being.
- Adelaide/Sydney A
Senior Manager, Risk & Controls, Mortgages & Collections
Westpac Banking Corporation
10.2010 - 05.2013
- New role created to lead a team of specialists in support of Westpac’s Mortgages and Collections business units
- Role was responsible for implementing and overseeing the operational risk and compliance management framework for a large portion of the Bank’s retail operations, including: ongoing risk assessments and advice.
- Regulatory liaison and reporting (ASIC, APRA, AUSTRAC)
- Process improvement and project/change management initiatives
- Risk framework improvements, including capital model
- Management of preparedness for internal and external audits; and
- Management and governance of on and offshore service providers
- Adelaide/Sydney Australia
European Risk Director
Goodman Limited
08.2007 - 09.2010
- Goodman is an Australian based listed international property funds management and property development business, specializing in industrial assets
- Role was created to establish a Risk Program for Goodman’s pan-European operations, which resulted from five property businesses being acquired by Goodman
- Role was responsible for implementing and overseeing the management of the Group’s Risk initiatives, including: Operational Risk Management, Regulatory Compliance (UK and Luxembourg), Internal Audit (combination of insource and outsource), Insurance Program (Property Assets and Corporate Insurances), Health & Safety & Business Continuity Management
- Role encompassed risk activities across Goodman’s corporate business, which oversees its development, funds management and property services activities, as well as the real estate investment trusts that it established and operated in UK and Europe
- Manage a team of dedicated risk, compliance and insurance specialists.
Group General Manager, Risk Management & Compliance
Multiplex Limited
04.2006 - 07.2007
- Established and managed a team of risk and compliance professionals to operate the risk and compliance programs for Multiplex Group and Multiplex Capital, Multiplex’s Funds Management Division
- Designed and implemented risk and compliance frameworks to ensure compliance with relevant obligations and provided assurance to the various Group and Divisional boards and their sub-committees, including the boards of the various Responsible Entities
- Coordinated and managed the strategic and tactical responses to group wide risk and compliance obligations, such as Anti Money Laundering, and Trade Practices/Anti Trust obligations
- Provided strategic advice regarding governance, risk and compliance matters impacting the Multiplex Group
- Coordinated the development and management of risk and compliance computer systems designed to assist risk and compliance personnel perform their duties, as well as to assist personnel in operating divisions better understand their risk and compliance obligations.
Group Manager – Compliance
Multiplex Limited
07.2003 - 04.2006
- Employment initially required assisting Multiplex list on the Australian Stock Exchange by establishing a group-wide compliance program, including the establishment of Multiplex’s Australian Financial Services Licenses to accommodate its growing funds management division
- Role required the integration of the fund management businesses of other Australian Financial Service Licensees and Dealers License holders (5) that were part of the Multiplex Group or purchased as part of business growth plan
- Ongoing role required managing the Multiplex Group Compliance Program covering its core businesses in Australia and Overseas, as well as supporting the ongoing development of funds management business and risk management program
- Managed a broad suite of governance, compliance and risk management policies and procedures
- Established and managed an internal Custody service
Consultant, Financial Services Reform Project
National Australia Bank (MLC)
01.2003 - 07.2003
Education
Graduate Diploma of Compliance - with Distinction
Charles Sturt University
Goulburn, NSW01.2004
Graduate Diploma in Legal Studies -
University of New South Wales
Sydney, NSW01.2002
Bachelor of Commerce -
Deakin University
Melbourne, VIC01.1997
Higher School Certificate -
St Pauls College
Manly, NSW01.1989
Skills
- Leadership and team building
- Operations Management
- Process & Internal Control Improvement
- Agile
- Risk & Compliance Management
- Human Resources Management
- Enterprise risk management
- Audit Coordination
- Vendor Risk Management
- Executive Leadership
Professional Memberships
Australian & New Zealand Institute of Insurance & Finance, Past Fellow
Personal Information
- Date of Birth: 01/16/72
- Nationality: Australian
Languages
English
Advanced (C1)
Timeline
General Manager, Chief Controls Officer
Commonwealth Bank of Australia
06.2019 - Current
Director, Global Human Resources Compliance & Operational Risk
Bank of America Merrill Lynch
05.2016 - 06.2019
Regional Head of HR – Governance, Risk Audit & Compliance
HSBC
06.2014 - 05.2016
Senior Manager, Portfolio Risk, Operations & Property Division
Westpac Banking Corporation
05.2013 - 05.2014
Senior Manager, Risk & Controls, Mortgages & Collections
Westpac Banking Corporation
10.2010 - 05.2013
European Risk Director
Goodman Limited
08.2007 - 09.2010
Group General Manager, Risk Management & Compliance
Multiplex Limited
04.2006 - 07.2007
Group Manager – Compliance
Multiplex Limited
07.2003 - 04.2006
Consultant, Financial Services Reform Project
National Australia Bank (MLC)
01.2003 - 07.2003
Graduate Diploma of Compliance - with Distinction
Charles Sturt University
Graduate Diploma in Legal Studies -
University of New South Wales
Bachelor of Commerce -
Deakin University
Higher School Certificate -
St Pauls College
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